Shum, Patrick Wai Cheong 岑偉昌
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | ASIA STRATEGIC INVESTMENT MANAGEMENT LIMITED | RO | Advising on corporate finance | 2003-12-05 | RO | Advising on securities | 2004-11-01 | RO | Asset management | 2004-11-01 | RO | Dealing in securities | 2004-11-01 |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on futures contracts | 2007-07-31 | 2007-10-10 | Rep | Advising on securities | 2007-07-31 | 2007-10-10 | Rep | Asset management | 2007-07-31 | 2007-10-10 | Rep | Dealing in securities | 2007-07-31 | 2007-10-10 | RO | Advising on futures contracts | 2007-10-10 | 2011-01-29 | RO | Advising on securities | 2007-10-10 | 2011-01-29 | RO | Asset management | 2007-10-10 | 2011-01-29 | RO | Dealing in securities | 2007-10-10 | 2011-01-29 |
| 3 | INVESCO ASSET MANAGEMENT ASIA LIMITED | Rep | Dealing in securities | 2004-11-05 | 2007-03-27 | RO | Dealing in securities | 2007-03-27 | 2007-07-23 |
| 4 | INVESCO HONG KONG LIMITED | Rep | Asset management | 2004-11-05 | 2007-03-27 | Rep | Dealing in securities | 2004-11-05 | 2007-03-27 | Rep | Advising on futures contracts | 2006-09-14 | 2007-03-27 | Rep | Advising on securities | 2006-09-14 | 2007-03-27 | RO | Advising on futures contracts | 2007-03-27 | 2007-07-23 | RO | Advising on securities | 2007-03-27 | 2007-07-23 | RO | Asset management | 2007-03-27 | 2007-07-23 | RO | Dealing in securities | 2007-03-27 | 2007-07-23 |
| 5 | MAP CAPITAL LIMITED (HK) | RO | Advising on securities | 2014-10-06 | 2015-03-31 | RO | Asset management | 2014-10-06 | 2015-03-31 |
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